SEC updates 2019 OCIE risk alert on fixed income principal and cross trades

22 July 2021

Risk management Americas

SEC addresses substituted compliance for UK and France

13 April 2021

SEC announces 2021 examination priorities

09 March 2021

AIMA Summary - Senate Banking Committee nomination hearings - 2 March 2021

04 March 2021

Americas

AIMA Summary: House Committee on Financial Services virtual hearing on GameStop

22 February 2021

Short Selling

SEC issues statement on custody of digital asset securities

12 January 2021

Digital assets

SEC Adopts Modernized Marketing Rule for Investment Advisers

05 January 2021

SEC adopts final rule on exempt offering framework

03 November 2020

SEC adopts final rule on use of derivatives

03 November 2020

Derivatives